DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••••• F••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 22, 2017 · 19 filings
SEC status approved since Jan 22, 2018
RAUM
$375M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$371M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$93.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$375M as of Mar 20, 2026
Mar 26, 2018$117M then
HNW client RAUM$352M as of Mar 20, 2026
Mar 26, 2018$101M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Mar 26, 20182 then
Employees (5.A)6 as of Mar 20, 2026
Mar 26, 20184 then
Private funds: no history
RAUM +26% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $93.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $185M, 106 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$352M94%
- Individuals$19.0M5.1%
- Corporations and businesses$2.6M0.7%
- Charitable organizations$1.6M0.4%
- Individual clients
- 28reported
- HNW clients
- 106reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 136reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 106 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• S•••• L••Certified Financial Planner, Personal Financial Specialist | Harrisonburg, Va | Sep 10, 2008 | 18 y | 0 |
| A•••• J••••• S••••••Certified Financial Planner | Harrisonburg, Va | Dec 7, 2015 | 19 y | 1 |
| A••••• S•••• L••Certified Financial Planner, Chartered Financial Analyst | Harrisonburg, Va | Nov 15, 2022 | 13 y | 1 |
| D••••• S•••••• B••••• | Harrisonburg, Va | May 7, 2024 | 19 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E••••• W••••• K••••• to M•••••• A••••••••• I•••Dec 8, 2015 · Other
Joined, latest
- D••••• S•••••• B••••• from C•••••• F••••• O•••••• I•••May 7, 2024 · RIA to RIA
- A••••• S•••• L•• from D••••••••• F••• A••••••• L•Nov 15, 2022 · Other
- A•••• J••••• S•••••• from A••••••••• F•••••••• S•••••••• L••Dec 7, 2015 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• D•••• S•••• · Managing Member, Chief Compliance Officercontrolsince 07/2008 · owns 75% or more
- S••••••• A••••• J••••• · Membercontrolsince 07/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Harrisonburg, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 129 to 136Mar 14, 2025 to Mar 20, 2026
- HNW clients · 98 to 106Mar 14, 2025 to Mar 20, 2026
- Individual clients · 29 to 28Mar 14, 2025 to Mar 20, 2026
- Assets in custody · $141M to $185MMar 14, 2025 to Mar 20, 2026
- Discretionary RAUM · $297M to $375MMar 14, 2025 to Mar 20, 2026
- HNW RAUM · $275M to $352MMar 14, 2025 to Mar 20, 2026
- Individual RAUM · $19.3M to $19.0MMar 14, 2025 to Mar 20, 2026
- RAUM · $297M to $375MMar 14, 2025 to Mar 20, 2026
- Accounts · 121 to 129Jan 14, 2025 to Mar 14, 2025
- Advisory employees · 3 to 4Jan 14, 2025 to Mar 14, 2025
- HNW clients · 89 to 98Jan 14, 2025 to Mar 14, 2025
- Individual clients · 30 to 29Jan 14, 2025 to Mar 14, 2025
- Assets in custody · $120M to $141MJan 14, 2025 to Mar 14, 2025
- Employees · 5 to 6Jan 14, 2025 to Mar 14, 2025
- Financial planning clients · 101-250 to 101-250Jan 14, 2025 to Mar 14, 2025
- State-registered IARs · 3 to 4Jan 14, 2025 to Mar 14, 2025
- Discretionary RAUM · $263M to $297MJan 14, 2025 to Mar 14, 2025
- HNW RAUM · $242M to $275MJan 14, 2025 to Mar 14, 2025
- Individual RAUM · $18.3M to $19.3MJan 14, 2025 to Mar 14, 2025
- RAUM · $263M to $297MJan 14, 2025 to Mar 14, 2025
- Accounts · 116 to 121Oct 16, 2023 to Mar 23, 2024
- HNW clients · 85 to 89Oct 16, 2023 to Mar 23, 2024
- Individual clients · 29 to 30Oct 16, 2023 to Mar 23, 2024
- Assets in custody · $136M to $120MOct 16, 2023 to Mar 23, 2024
- Discretionary RAUM · $228M to $263MOct 16, 2023 to Mar 23, 2024
- HNW RAUM · $210M to $242MOct 16, 2023 to Mar 23, 2024
- Individual RAUM · $16.0M to $18.3MOct 16, 2023 to Mar 23, 2024
- RAUM · $228M to $263MOct 16, 2023 to Mar 23, 2024
- Advisory employees · 4 to 3Mar 10, 2023 to Oct 16, 2023
- Employees · 6 to 5Mar 10, 2023 to Oct 16, 2023
- State-registered IARs · 4 to 3Mar 10, 2023 to Oct 16, 2023
- Accounts · 111 to 116Nov 17, 2022 to Mar 10, 2023
- HNW clients · 81 to 85Nov 17, 2022 to Mar 10, 2023
- Pension plan clients · 5 to 6Nov 17, 2022 to Mar 10, 2023
- Assets in custody · $151M to $136MNov 17, 2022 to Mar 10, 2023
- Financial planning clients · 51-100 to 101-250Nov 17, 2022 to Mar 10, 2023
- Discretionary RAUM · $244M to $228MNov 17, 2022 to Mar 10, 2023
- HNW RAUM · $226M to $210MNov 17, 2022 to Mar 10, 2023
- Individual RAUM · $17.0M to $16.0MNov 17, 2022 to Mar 10, 2023
- RAUM · $244M to $228MNov 17, 2022 to Mar 10, 2023
Signals
3 dated events
- M M•••••• M••••• (Member) no longer on Schedule A of S••••••••• F••••••••• L•• (listed 2022-11-17, absent 2023-03-10)Mar 10, 2023 · Control person left · inference
- M M•••••• M••••• (Member) appeared on Schedule A of S••••••••• F••••••••• L••Jan 29, 2021 · Control person joined · fact
- S••••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 540-437-1222reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 540-437-1299reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••••••-FINANCIAL-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 540-437-1222reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026